Leeann Andrea D’Souza

+1-647-***-****

Toronto, Ontario

ac8zi1@r.postjobfree.com

Profile Summary

I previously worked as a Senior Internal Audit Contractor with TD Bank, Toronto’s Global Risk and Compliance team on follow-up ad-hoc human resources findings. I also assisted the team on building a stronger regulatory database to help in audit planning of banking business areas for 2019. Before TD Bank, I worked with the Internal Audit, Risk and Compliance Services team of KPMG Kuwait where I was responsible to conduct audits for various hospitality and financial services sector clients vastly working on HR and administration audits, procurement audits, risk management, compliance and AML and corporate governance, to name a few. Highlights

• Held responsibility to submit distinct quarterly deliverables for my clients on a recurring basis

• Planned, scheduled and executed approx 4 business process audits in a time frame of 3-4 weeks

• Thomson Reuters SMART Practice Audit Suite

• Microsoft Office Suite

Education

Bachelors of Commerce (Accountancy) June 2011 – May 2014 Certified Internal Auditor (CIA) Pursuing

Memberships

Institute of Internal Auditors (IIA) – Toronto Chapter 8 Volunteering

Organizing and managing breakfast events at the IIA – Toronto Chapter 8 Ongoing Key Responsibilities:

• Analyzed and prepared a plan of execution regarding risk, control and compliance activities for internal audit engagements of varied sizes, scopes and complexities from the start until the handover of deliverables by remaining in compliance with the KPMG Global standards and Methodology

• Identified and performed gap analysis and provided strategies on managing and mitigating risks

• Analyzed and reviewed management responses based over the initial draft report followed by executing the final report

• Assisted my team in facilitating risk assessments and advising on suitable strategies to manage risks

• Documented, reviewed, evaluated and tested an assortment of business processes and internal controls mainly concentrated in the Financial Services and Hospitality sectors

• Authored audit programs, working papers and testing sheets and process flow-charts for record-keeping

• Liaised with my client and the responsible departments and held professional discussions with audit clients on the workings of the department and its varied sections

• Communicated control strengths and weaknesses to my audit engagement team and client and developed effective solutions to bridge control gaps

• Participated in special assignments (like internal control reviews, quality assurance review programs) ensuring timely completion Experience

Senior Auditor Global Governance, Risk and Corporate Functions September 2018 – October 2018 TD Bank, Toronto (Contract)

• Conducted testing on ad-hoc HR findings using Thomson Reuters SMART Practice Audit Suite for sampling and data analyzing, input of working papers and uploading of relevant supporting documents to the audit

• Organized and updated the regulatory requirement database to assist the team to plan FY2019 audits

• Conducted an analysis on annual global Enterprise Risk incident report by stratifying volumes of risk deviations occurred during the financial year

Advisor Internal Audit, Risk and Compliance Services August 2015 – April 2018 KPMG, Kuwait

A glimpse of some key audits conducted and processes and areas tested:

• Human Resources Department

Overall governance of the Department, Manpower planning and budgeting, Recruitment, evaluation and selection, Employee onboarding, Management of separations, Personnel file maintenance, Salaries and benefits, Payroll processing, Training and Development, Performance Management, Increments, promotions and transfers, Management reporting, Employee database management and Attendance and leave administration

• Procurement Department

Overall governance of the Department activities, Supplier selection, registration and database maintenance, Procurement planning, Procurement through the system, Accounting for purchases, Evaluation of quotations and selection process, supplier performance evaluation and audits, Periodic management reporting, Manual purchase order processes

• Compliance and Anti-Money Laundering

Compliance

Capturing and communicating new regulatory requirements, Monitoring of current regulatory requirements for compliance, MIS and regulatory reporting, FATCA due diligence and implementation Anti-Money Laundering

Compliance with the Kuwait Capital Market Authority instructions relating to Anti-Money Laundering and terrorism financing, system to identify and prevent money laundering activities, adequate “Know-Your-Client” procedures, suspicious transactions are identified and reported in a timely manner, employee trainings on the identification and reporting of suspicious transactions, customer records maintained in an organized manner

• Risk Management

Overall governance of the Department activities including policies, procedures, roles, responsibilities and compliance with internal and regulatory requirements, Risk management framework, Risk philosophy and risk appetites, Risk inventory, Risk quantification, Risk incident reporting, Risk & Control Self-Assessment, Key Risk Indicators and continuous monitoring, Management reporting

• Plant Operations

Planning and coordination of preventive and corrective maintenance activities, Management of work orders, Contract management for third party service providers, Budgeting, Management of maintenance and cleaning inventory, Overall governance of the Department activities including policies, procedures, roles, responsibilities and compliance with internal requirements Skills

• Research and analytical competence

• Critical thinking

• A team supporter who would occasionally lead and administer to my team during office events, internal team trainings and gatherings

• Actively and continuously communicated and presented interesting perspectives on findings that have shaped their outcome

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